Brian S. Marro
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Stephen Marro was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2023 - March 16, 2026
TJM INVESTMENTS, LLC
April 12, 2016 - July 17, 2023
LPS CAPITAL LLC
June 25, 2014 - April 8, 2016
WHITAKER SECURITIES LLC
March 29, 2010 - April 14, 2014
BGC FINANCIAL, L.P.
June 22, 2009 - March 30, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
April 27, 2007 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
February 24, 1994 - May 17, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
May 26, 1993 - September 8, 1993
TULLETT PREBON FINANCIAL SERVICES LLC
March 2, 1992 - September 9, 1992
FUNDAMENTAL CORPORATE BOND BROKERS
February 5, 1992 - September 9, 1992
FUNDAMENTAL BROKERS
December 20, 1989 - February 1, 1992
EXCO RMJ INTERNATIONAL INC.
July 25, 1987 - February 1, 1992
INTERCAPITAL GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
| WARD, BARRY DANIEL | MANAGING DIRECTOR | 1584523 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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